Month: October 2011
“Supervisory Failures” Cost Merrill Lynch $1 Million
According to the Financial Industry Regulatory Authority (FINRA), “it has fined Merrill Lynch, Pierce, Fenner & Smith Inc., $1...
Forex Capital Markets Settles Charges of Failure to Supervise
According to a public release from cftc.gov, “The U.S. Commodity Futures Trading Commission (CFTC)…issued an order filing and...
“Selling Away” a Concern for Regulators, Investors and Brokerage Firms
According to the investmentnews.com, “Stockbrokers who sell products that promise high returns without the approval of their...
